Compliance and Risk Management Team

The Compliance and Risk Management Team at Hilltop Securities is responsible for ensuring that the company adheres to regulatory standards and internal policies, safeguarding the integrity of its financial practices. This team conducts risk assessments, develops compliance strategies, and implements controls to mitigate potential risks, thereby fostering trust and transparency with clients and stakeholders. Through their efforts, they help the company maintain its commitment to community involvement while navigating the complexities of financial regulations.